DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
E•••••••• W••••• M••••••••• I•••
Latest filing Apr 24, 2023
First filing on the tape Dec 6, 2011 · 32 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
75%
$774M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$1.0B as of Mar 27, 2023
Dec 6, 2011$515M then
HNW client RAUM$739M as of Mar 27, 2023
Jan 17, 2018$503M then
State-registered IARs (5.B.3)5 as of Mar 27, 2023
Dec 6, 20110 then
Employees (5.A)9 as of Mar 27, 2023
Jan 3, 20139 then
Private funds: no history
RAUM -15% over the last fiscal year+2.1% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Apr 24, 2023; every figure names its basis
- RAUM per advisor
- $206MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 149derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$739M72%
- Corporations and businesses$229M22%
- Individuals$35.3M3.4%
- Pension and profit-sharing plans$19.1M1.9%
- Charitable organizations$7.0M0.7%
- Individual clients
- 225reported
- HNW clients
- 521reported
- Pension plan clients
- 6reported
- Charitable clients
- 2reported
- Accounts
- 778reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- J• M•••••• C••••••• to C•••••••• A•••••••Oct 5, 2023 · RIA to RIA
- K•••• E•••••••• I•••••••• C•••••• to C•••••••• A•••••••Sep 26, 2023 · RIA to RIA
- D••••• J••••• C••••• to C•••••••• A•••••••Sep 26, 2023 · RIA to RIA
- P•••• J•••• C•••• to C•••••••• A•••••••Sep 26, 2023 · RIA to RIA
- M••••••• R••• C••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 16, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- M••••••• R••• C••••••• from C•••••••••May 21, 2015 · Other
- D••••• J••••• C••••• from A•••• C••••••• L••Oct 23, 2012 · Other
- P•••• J•••• C•••• from B•••••• W••••• P•••••••• L••Oct 23, 2012 · Other
- J• M•••••• C••••••• from B•••••• W••••• P•••••••• L••Oct 23, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for C•••••••• A•••••••Sep 26, 2023 · Providence, Ri · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• J• M•••••• · Presidentcontrolsince 06/2008 · owns 75% or more
- C••••••• K••••• E•••••••• I•••••••• · Chief Compliance Officersince 01/2021 · owns less than 5%
Entity owners
- C•••••• D••••• J••••• · Treasurerdirect · owns less than 5%
- C••••• J••• P•••• J•••• · Vice Presidentdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Providence, Ri · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 766 to 778Dec 8, 2022 to Mar 27, 2023
- Corporate clients · 25 to 23Dec 8, 2022 to Mar 27, 2023
- HNW clients · 513 to 521Dec 8, 2022 to Mar 27, 2023
- Individual clients · 219 to 225Dec 8, 2022 to Mar 27, 2023
- Pension plan clients · 7 to 6Dec 8, 2022 to Mar 27, 2023
- Employees · 10 to 9Dec 8, 2022 to Mar 27, 2023
- Discretionary RAUM · $1.1B to $913MDec 8, 2022 to Mar 27, 2023
- HNW RAUM · $884M to $739MDec 8, 2022 to Mar 27, 2023
- Individual RAUM · $43.6M to $35.3MDec 8, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $135M to $117MDec 8, 2022 to Mar 27, 2023
- Pension RAUM · $22.9M to $19.1MDec 8, 2022 to Mar 27, 2023
- RAUM · $1.2B to $1.0BDec 8, 2022 to Mar 27, 2023
- Accounts · 764 to 766Nov 11, 2021 to Jan 18, 2022
- Charity clients · 5 to 2Nov 11, 2021 to Jan 18, 2022
- Corporate clients · 20 to 25Nov 11, 2021 to Jan 18, 2022
- HNW clients · 186 to 513Nov 11, 2021 to Jan 18, 2022
- Individual clients · 543 to 219Nov 11, 2021 to Jan 18, 2022
- Pension plan clients · 10 to 7Nov 11, 2021 to Jan 18, 2022
- Employees · 9 to 10Nov 11, 2021 to Jan 18, 2022
- Discretionary RAUM · $976M to $1.1BNov 11, 2021 to Jan 18, 2022
- HNW RAUM · $649M to $884MNov 11, 2021 to Jan 18, 2022
- Individual RAUM · $130M to $43.6MNov 11, 2021 to Jan 18, 2022
- Non-discretionary RAUM · $116M to $135MNov 11, 2021 to Jan 18, 2022
- Pension RAUM · $22.8M to $22.9MNov 11, 2021 to Jan 18, 2022
- RAUM · $1.1B to $1.2BNov 11, 2021 to Jan 18, 2022
- Accounts · 737 to 764Jun 18, 2020 to Jan 14, 2021
- Charity clients · 6 to 5Jun 18, 2020 to Jan 14, 2021
- Corporate clients · 16 to 20Jun 18, 2020 to Jan 14, 2021
- HNW clients · 178 to 186Jun 18, 2020 to Jan 14, 2021
- Individual clients · 527 to 543Jun 18, 2020 to Jan 14, 2021
- Discretionary RAUM · $862M to $976MJun 18, 2020 to Jan 14, 2021
- HNW RAUM · $533M to $649MJun 18, 2020 to Jan 14, 2021
- Individual RAUM · $141M to $130MJun 18, 2020 to Jan 14, 2021
- Non-discretionary RAUM · $106M to $116MJun 18, 2020 to Jan 14, 2021
- Pension RAUM · $22.6M to $22.8MJun 18, 2020 to Jan 14, 2021
- Pooled vehicle RAUM · unset to 0.0Jun 18, 2020 to Jan 14, 2021
- RAUM · $968M to $1.1BJun 18, 2020 to Jan 14, 2021
- Charity clients · 0 to 6Feb 25, 2019 to Jan 14, 2020
- Corporate clients · 9 to 16Feb 25, 2019 to Jan 14, 2020
- HNW clients · 146 to 178Feb 25, 2019 to Jan 14, 2020
Signals
6 dated events
- J• M•••••• C••••••• left E•••••••• W••••• M••••••••• I••• for C•••••••• A••••••• (registered 2023-09-19)Oct 5, 2023 · Advisor changed firm · fact
- D••••• J••••• C••••• left E•••••••• W••••• M••••••••• I••• for C•••••••• A••••••• (registered 2023-09-14)Sep 26, 2023 · Advisor changed firm · fact
- K•••• E•••••••• I•••••••• C•••••• left E•••••••• W••••• M••••••••• I••• for C•••••••• A••••••• (registered 2023-09-15)Sep 26, 2023 · Advisor changed firm · fact
- P•••• J•••• C•••• left E•••••••• W••••• M••••••••• I••• for C•••••••• A••••••• (registered 2023-09-19)Sep 26, 2023 · Advisor changed firm · fact
- E•••••••• W••••• M••••••••• I•••'s advisors moved to C•••••••• A••••••• (Providence, RI): 4 of 4 registered, within 9 daysSep 26, 2023 · Firm absorbed (people side) · derived
- M••••••• R••• C••••••• left E•••••••• W••••• M••••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-06-30)Aug 16, 2023 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026